Our client, a global financial services organization is looking to add a Compliance Analyst to their organization. This is a challenging, fast-paced and deadline-driven position, requiring excellent communication, interpersonal and time management skills.
Highlights about the company
- Verify that client advisory activities are carried out in accordance with licensing requirements of applicable US and non-US jurisdictions
- Field day-to-day compliance questions, related in particular to gifts & entertainment, political law, anti-bribery, anti-money laundering, personal securities transactions, broker-dealer licensing and related procedures and other investment advisor-related policies and procedures
- Assist with ad hoc compliance projects (e.g., client reports, compliance attestations/certifications)
- Provide in-person training on key policies and new regulatory requirements
- Create new and maintain existing operating procedures
- Assist with document production in connection with regulatory exams, inquiries and audits
- Bachelor’s degree with an accredited college or university
- 2-3 years of regulatory compliance, audit or other relevant experience in an financial services organization.
- Familiarity with applicable SEC and FINRA rules
- Strong knowledge of the financial markets or a compliance background is highly beneficial.
- Juris Doctorate is preferred, but not required.
Note: Qualified candidates will be contacted within 2 business days of application. If an applicant does not meet the above criteria, we will keep your resume on file for future opportunities and may contact you for further discussion.